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JM

Jennifer W. Moser

CRD#: 1915631
Some features on this profile are disabled
JM
Jennifer W Moser

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Jennifer W Moser, who also goes by Jennifer W Moser, Jennifer Welch Moser, Jennifer Leigh Welch, was a registered financial professional .

Jennifer is a previously registered financial professional and started their career in finance in 1989. Jennifer had worked at 8 firms and has passed the Series 65, Series 66, Series 63, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jennifer W Moser | Jennifer Welch Moser | Jennifer Leigh Welch

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 5, 2025 - May 1, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
WINSTON SALEM, NC
Past

March 21, 2022 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Winston Salem, NC
Past

March 19, 2004 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

RIA
CRD#: 6555
WINSTON SALEM, NC
Past

March 19, 2004 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

September 4, 2002 - March 11, 2004

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
HIGH POINT, NC
Past

September 8, 2000 - March 11, 2004

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

May 5, 1999 - October 3, 2000

SCOTT & STRINGFELLOW, LLC

BD
CRD#: 6255
RICHMOND, VA
Past

December 21, 1998 - May 5, 1999

SCOTT & STRINGFELLOW, INC.

BD
CRD#: 3309
RICHMOND, VA
Past

January 17, 1995 - December 22, 1998

CAPITAL INVESTMENT GROUP, INC.

BD
CRD#: 14752
RALEIGH, NC
Past

January 24, 1989 - December 31, 1993

WACHOVIA BROKERAGE SERVICE

BD
CRD#: 17503
WINSTON SALEM, NC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/21/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 7/1/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/17/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/21/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 10/8/2004
Municipal Securities Principal Examination

Current Firm

CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS

CRD#: 105644 / SEC#: 801-20406

RIA
Registered Investment Advisory firm - (1/13/1984 Approved)
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Contact information

Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Regulatory assets under management

Total Number of Accounts584,487
AUM (Assets Under Management)$ 163,792,814,520

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/27/2025
Cover Page
Report
12/13/2024
Cover Page
Report
09/26/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644

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